Thompson & Thompson Investment Advisors, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$27,416,604
Clients
30
Advisors
2
of 2 employees
About
Thompson & Thompson Investment Advisors, Inc. provides discretionary investment management, retirement income planning, and focused portfolios of U.S. stocks and bonds for individuals, trusts, charitable organizations, and small businesses. The firm serves a small client base (about 30 clients) with roughly $27.6 million in assets under management and charges customary percentage-of-assets fees for managed accounts.
The firm combines Modern Portfolio Theory principles with both passive index-based allocations for more risk-averse clients and active, fundamental stock selection for clients seeking outperformance, tailoring plans to each client’s goals and risk profile. Accounts are generally managed on a discretionary basis, with regular monitoring, annual plan reviews, and monthly performance reports plus an annual performance letter that compares results to agreed benchmarks.
What is distinctive about the firm is a set of services that are uncommon among peers: it offers optional performance-based fee arrangements for qualified clients that tie compensation to equity portfolio outperformance versus an agreed benchmark and uses a high-water mark, it provides regular performance reporting and an annual performance letter, and it conducts educational seminars and presentations (sometimes offered pro‑bono or fee‑based). The two-advisor firm also highlights professional backgrounds in law and taxation and an active teaching role among its principals, which inform its planning and educational offerings.
Client services
Expertise
Occupation focus
Fee options
Fixed fees vary by matter and client agreement
$0 - $1,000,000: 0.60% annually (0.05% monthly) $1,000,000 - $5,000,000: 0.50% annually (0.04167% monthly) $5,000,000+: 0.40% annually (0.03333% monthly)
Hourly fees starting at $250 per hour up to $600 per hour
20% of annual returns in excess of benchmark for Qualified Clients with at least $1.1 million in assets or $2.2 million net worth; standard fees reduced by two-thirds
Minimum fee: $150 per month minimum fee Fee-only: Hourly fees from $250 to $600 per hour; Fixed fees vary by agreement
Main office
Pasadena CA
Advisors at this office
2
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Advisors at this firm
Davis T
Series 65
Pasadena, CA
Thompson & Thompson Investment Advisors, Inc.
Davis Thompson is a Series 65-licensed financial advisor with Thompson & Thompson Investment Advisors, Inc., based in Pasadena, CA. He has six years of industry experience and also serves as the Engineering & Computer Science Program Director at Tarbut V'Torah Community Day School, where he manages curriculum and oversees teaching staff. Prior to his current role, he has worked at Mater Dei High School and DKRBT Enterprises, Inc. Thompson & Thompson Investment Advisors, Inc. provides discretionary investment management, retirement income planning, and tailored portfolios of U.S. stocks and bonds for individuals, trusts, charitable organizations, and small businesses. The firm applies Modern Portfolio Theory principles using both passive index allocations and active stock selection and distinguishes itself by offering performance-based fee arrangements, regular performance reporting, and educational seminars.
Davis T
Series 65
Pasadena, CA
Thompson & Thompson Investment Advisors, Inc.
Davis Thompson is a financial advisor at Thompson & Thompson Investment Advisors, Inc. in Pasadena, CA, holding a Series 65 designation with six years of industry experience. He worked for nearly three decades at Atkinson, Andelson, Loya, Rau & Romo, a law corporation, before joining his current firm in 2019. Thompson & Thompson Investment Advisors serves individuals, trusts, charitable organizations, and businesses by providing comprehensive wealth and retirement income planning along with management of U.S.-traded stock and bond portfolios. The firm employs a combination of passive and active investment strategies based on modern portfolio theory and fundamental analysis, tailoring portfolios to clients’ objectives and risk profiles.
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